12 CFR 225, Subpart K - Proprietary Trading and Relationships With Hedge Funds and Private Equity Funds | Title 12 - Banks and Banking | Code of Federal Regulations

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§ 225.180 — Definitions.
§ 225.181 — Conformance Period for Banking Entities Engaged in Prohibited Proprietary Trading or Private Fund Activities.
§ 225.182 — Conformance Period for Nonbank Financial Companies Supervised by the Board Engaged in Proprietary Trading or Private Fund Activities.

Title 12 published on 2012-01-01

The following are only the Rules published in the Federal Register after the published date of Title 12.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

2012-08-30; vol. 77 # 169 - Thursday, August 30, 2012

77 FR 53060 - Risk-Based Capital Guidelines: Market Risk

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-16759
RIN	1557-AC99
Docket No.	ID: OCC-2012-0002
Regulations H and	Y
Docket No.	R-1401

DEPARTMENT OF THE TREASURY, FEDERAL RESERVE SYSTEM, FEDERAL DEPOSIT INSURANCE CORPORATION, Office of the Comptroller of the Currency

Joint final rule.

The final rule is effective January 1, 2013.

12 CFR Part 3

Summary

The Office of the Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System (Board), and Federal Deposit Insurance Corporation (FDIC) are revising their market risk capital rules to better capture positions for which the market risk capital rules are appropriate; reduce procyclicality; enhance the rules' sensitivity to risks that are not adequately captured under current methodologies; and increase transparency through enhanced disclosures. The final rule does not include all of the methodologies adopted by the Basel Committee on Banking Supervision for calculating the standardized specific risk capital requirements for debt and securitization positions due to their reliance on credit ratings, which is impermissible under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Instead, the final rule includes alternative methodologies for calculating standardized specific risk capital requirements for debt and securitization positions.

2012-06-08; vol. 77 # 111 - Friday, June 8, 2012

77 FR 33949 - Statement of Policy Regarding the Conformance Period for Entities Engaged in Prohibited Proprietary Trading or Private Equity Fund or Hedge Fund Activities

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-13937
RIN
Docket No.	OP-1441

FEDERAL RESERVE SYSTEM

Notification of policy statement.

Effective June 8, 2012.

12 CFR Part 225

Summary

The Board is issuing this guidance to provide clarity on the manner in which the conformance period would apply to various activities and investments covered by the requirements of section 619 of the Dodd-Frank Act. This guidance is identical to what the Board announced on its public Web site on April 19, 2012.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code

USC : Title 12 - BANKS AND BANKING

§ 1817 - Assessments

§ 1818 - Termination of status as insured depository institution

§ 1828 - Regulations governing insured depository institutions

§ 1831i - Agency disapproval of directors and senior executive officers of insured depository institutions or depository institution holding companies

12 USC § 1831p–1 - Standards for safety and soundness

§ 1843 - Interests in nonbanking organizations

§ 1844 - Administration

§ 1972 - Certain tying arrangements prohibited; correspondent accounts

§ 3106 - Nonbanking activities of foreign banks

§ 3108 - Regulation and enforcement

§ 3310 - Establishment of Appraisal Subcommittee

§ 3331 - Purpose

§ 3332 - Functions of Appraisal Subcommittee

§ 3333 - Chairperson of Appraisal Subcommittee; term of Chairperson; meetings

§ 3334 - Officers and staff

§ 3335 - Powers of Appraisal Subcommittee

§ 3336 - Procedures for establishing appraisal standards and requiring use of certified and licensed appraisers

§ 3337 - Startup funding

§ 3338 - Roster of State certified or licensed appraisers; authority to collect and transmit fees

§ 3339 - Functions of Federal financial institutions regulatory agencies relating to appraisal standards

§ 3340 - Time for proposal and adoption of standards

§ 3341 - Functions of Federal financial institutions regulatory agencies relating to appraiser qualifications

§ 3342 - Transactions requiring services of State certified appraiser

§ 3343 - Transactions requiring services of State licensed appraiser

§ 3344 - Time for proposal and adoption of rules

§ 3345 - Certification and licensing requirements

§ 3346 - Establishment of State appraiser certifying and licensing agencies

§ 3347 - Monitoring of State appraiser certifying and licensing agencies

§ 3348 - Recognition of State certified and licensed appraisers for purposes of this chapter

§ 3349 - Violations in obtaining and performing appraisals in federally related transactions

§ 3350 - Definitions

§ 3351 - Miscellaneous provisions

§ 3906 - Collection and disclosure of international lending data

§ 3907 - Capital adequacy

§ 3909 - General authorities

USC : Title 15 - COMMERCE AND TRADE

§ 1681s - Administrative enforcement

§ 1681w - Disposal of records

§ 6801 - Protection of nonpublic personal information

§ 6805 - Enforcement

Title 12 published on 2012-01-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 12 CFR 225 after this date.

2012-08-30; vol. 77 # 169 - Thursday, August 30, 2012

77 FR 52792 - Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Minimum Regulatory Capital Ratios, Capital Adequacy, Transition Provisions, and Prompt Corrective Action

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-16757
RIN	1557-AD46
Docket No.	ID OCC-2012-0008
Docket No.	R-1442

DEPARTMENT OF THE TREASURY, FEDERAL RESERVE SYSTEM, FEDERAL DEPOSIT INSURANCE CORPORATION, Office of the Comptroller of the Currency

Joint notice of proposed rulemaking.

Comments must be submitted on or before October 22, 2012.

12 CFR Parts 3, 5, 6, 165, and 167

Summary

The Office of the Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System (Board), and the Federal Deposit Insurance Corporation (FDIC) (collectively, the agencies) are seeking comment on three Notices of Proposed Rulemaking (NPR) that would revise and replace the agencies' current capital rules. In this NPR, the agencies are proposing to revise their risk-based and leverage capital requirements consistent with agreements reached by the Basel Committee on Banking Supervision (BCBS) in “Basel III: A Global Regulatory Framework for More Resilient Banks and Banking Systems” (Basel III). The proposed revisions would include implementation of a new common equity tier 1 minimum capital requirement, a higher minimum tier 1 capital requirement, and, for banking organizations subject to the advanced approaches capital rules, a supplementary leverage ratio that incorporates a broader set of exposures in the denominator measure. Additionally, consistent with Basel III, the agencies are proposing to apply limits on a banking organization's capital distributions and certain discretionary bonus payments if the banking organization does not hold a specified amount of common equity tier 1 capital in addition to the amount necessary to meet its minimum risk-based capital requirements. This NPR also would establish more conservative standards for including an instrument in regulatory capital. As discussed in the proposal, the revisions set forth in this NPR are consistent with section 171 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), which requires the agencies to establish minimum risk-based and leverage capital requirements. In connection with the proposed changes to the agencies' capital rules in this NPR, the agencies are also seeking comment on the two related NPRs published elsewhere in today's Federal Register . The two related NPRs are discussed further in the SUPPLEMENTARY INFORMATION .

77 FR 53060 - Risk-Based Capital Guidelines: Market Risk

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-16759
RIN	1557-AC99
Docket No.	ID: OCC-2012-0002
Regulations H and	Y
Docket No.	R-1401

DEPARTMENT OF THE TREASURY, FEDERAL RESERVE SYSTEM, FEDERAL DEPOSIT INSURANCE CORPORATION, Office of the Comptroller of the Currency

Joint final rule.

The final rule is effective January 1, 2013.

12 CFR Part 3

Summary

The Office of the Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System (Board), and Federal Deposit Insurance Corporation (FDIC) are revising their market risk capital rules to better capture positions for which the market risk capital rules are appropriate; reduce procyclicality; enhance the rules' sensitivity to risks that are not adequately captured under current methodologies; and increase transparency through enhanced disclosures. The final rule does not include all of the methodologies adopted by the Basel Committee on Banking Supervision for calculating the standardized specific risk capital requirements for debt and securitization positions due to their reliance on credit ratings, which is impermissible under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Instead, the final rule includes alternative methodologies for calculating standardized specific risk capital requirements for debt and securitization positions.

2012-06-08; vol. 77 # 111 - Friday, June 8, 2012

77 FR 33949 - Statement of Policy Regarding the Conformance Period for Entities Engaged in Prohibited Proprietary Trading or Private Equity Fund or Hedge Fund Activities

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-13937
RIN
Docket No.	OP-1441

FEDERAL RESERVE SYSTEM

Notification of policy statement.

Effective June 8, 2012.

12 CFR Part 225

Summary

The Board is issuing this guidance to provide clarity on the manner in which the conformance period would apply to various activities and investments covered by the requirements of section 619 of the Dodd-Frank Act. This guidance is identical to what the Board announced on its public Web site on April 19, 2012.

2012-04-17; vol. 77 # 74 - Tuesday, April 17, 2012

77 FR 22686 - Definition of “Predominantly Engaged in Financial Activities”; Correction

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-9210
RIN	7100-AD64
Regulation	Y
Docket No.	R-1405

FEDERAL RESERVE SYSTEM

Supplemental notice of proposed rulemaking and request for comment; correction.

The comment period closing date for the proposed rule published April 10, 2012, at 77 FR 21494 remains May 25, 2012.

12 CFR Part 225

Summary

On April 10, 2012, the Board published in the Federal Register a supplemental notice of proposed rulemaking and request for comment that would establish the criteria for determining whether a company is “predominantly engaged in financial activities” for purposes of Title I of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. That Federal Register notice omitted the instructions for submitting comments. This document corrects that omission.

2012-04-10; vol. 77 # 69 - Tuesday, April 10, 2012

77 FR 21494 - Definition of “Predominantly Engaged in Financial Activities”

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-8515
RIN	7100-AD64
Regulation	Y
Docket No.	R-1405

FEDERAL RESERVE SYSTEM

Supplemental notice of proposed rulemaking and request for comment.

Comments should be received on or before May 25, 2012.

12 CFR Part 225

Summary

On February 11, 2011, the Board published a notice of proposed rulemaking (“February 2011 NPR”) that would amend Regulation Y to establish the criteria for determining whether a company is “predominantly engaged in financial activities” and define the terms “significant nonbank financial company” and “significant bank holding company” for purposes of Title I of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act” or “Act”). Based on comments received, the Board believes that clarification is needed regarding the scope of activities that would be considered to be financial activities under that proposal. Accordingly, this notice supplements the February 2011 NPR amending specific portions of the regulation for clarity.

12 CFR 225, Subpart K - Proprietary Trading and Relationships With Hedge Funds and Private Equity Funds

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